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This time, however, the battleground is not Congress but the Securities and Exchange Commission. a six-month study on the impact of adopting a fiduciary duty for broker-dealers. The commission also has new rule-making authority to.

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3 | Consolidated Audit Trail Considerations for broker-dealers. CAT implementation timeline. November 15, 2016 May 15, 2017 November 15, 2017 May 15,

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The stock (also capital stock) of a corporation is constituted of the equity stock of its owners. A single share of the stock represents fractional ownership of the.

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The NYSE Broker-Dealer Index recently rallied to a six-year high led by. Disclosure: At the time of this writing, the author had no position in the equities mentioned in this report.

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The Financial Industry Regulatory Authority (FINRA) has ordered Broker dealers Stifel, Nicolaus & Company Inc. and Century Securities Associates Inc. (both owned by Stifel Financial) to pay a combined $550,000 in fines and $475,000.

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The NYSE, FINRA, and MSRB all have requirements relating to the opening of an account for the employee of another member firm or for the spouse or minor child of the employee. The opening firm will, in all cases, notify the employer in.